How Licensees became underwriters of investment returns – and why Shield and First Guardian may finally change that. The adviser doesn’t manage the money… The fund manager makes the investment decisions… The research house gives it a “Favourable” rating… The platform conducts due diligence before hosting it… The trustee / responsible entity signs it off…
In a recent article, Cristean offers guidance on effectively addressing regulatory notices while ensuring your business remains well-prepared.
The advice industry has a key opportunity to strengthen ties with regulators. The article highlights how revisiting ASIC’s mission and prioritising consumer protection and public interest can pave the way for improved regulatory relationships.
This announcement marks the launch of the Advisory Board, which will draw on the expertise and guidance of seasoned professionals with proven success in the financial services industry.
QAR, “Good Advice” and the “Statutory Best Interests Duty”: Handle with care Financial Services Reform. Future of Financial Advice. FASEA Code of Ethics. Quality of Advice Review. The pattern continues. First, the industry needed statutory reform. Then further reform was needed because advisers allegedly caused the heavy losses sustained by superannuitants and retirees during the
Say what now? Defence of financial planners? But aren’t they evil bankers and salespeople? Didn’t we just conclude a Royal Commission into their misconduct? Isn’t ASIC banning them left, right and centre? What’s to defend? It hasn’t been an easy last 12 years or so for financial planners. The last 12 months have beenparticularly excruciating.
How Licensees became underwriters of investment returns – and why Shield and First Guardian may finally change that. The adviser doesn’t manage the money… The fund manager makes the investment decisions… The research house gives it a “Favourable” rating… The platform conducts due diligence before hosting it… The trustee / responsible entity signs it off…
In a recent article, Cristean offers guidance on effectively addressing regulatory notices while ensuring your business remains well-prepared.
The advice industry has a key opportunity to strengthen ties with regulators. The article highlights how revisiting ASIC’s mission and prioritising consumer protection and public interest can pave the way for improved regulatory relationships.
This announcement marks the launch of the Advisory Board, which will draw on the expertise and guidance of seasoned professionals with proven success in the financial services industry.
QAR, “Good Advice” and the “Statutory Best Interests Duty”: Handle with care Financial Services Reform. Future of Financial Advice. FASEA Code of Ethics. Quality of Advice Review. The pattern continues. First, the industry needed statutory reform. Then further reform was needed because advisers allegedly caused the heavy losses sustained by superannuitants and retirees during the
Say what now? Defence of financial planners? But aren’t they evil bankers and salespeople? Didn’t we just conclude a Royal Commission into their misconduct? Isn’t ASIC banning them left, right and centre? What’s to defend? It hasn’t been an easy last 12 years or so for financial planners. The last 12 months have beenparticularly excruciating.
